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Reference: https://pecb.com/en/education-and-certification-for-individuals/iso-14001/iso-14001-lead-auditor
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PECB Certified EMS ISO 14001 Lead Auditor Sample Questions:
Whistlekleen is a national dry cleaning and laundry organisation with 50 shops. You are conducting an EMS surveillance audit of Head Office and are sampling environmental performance measurement. You find that
80 per cent of failures to meet performance criteria originate from five shops in the same region. Most of these failures relate to the release of volatile organic compounds (VOCs) that exceeds regulations. The Environmental Manager tells you that these are the oldest shops in the organisation. The cleaning equipment needs replacing but the organisation cannot afford it at the moment.
On raising the matter with senior management, you are told that there are plans to replace the equipment in these shops over the next five years.
Select two options that apply to how you should respond to the information given.
- A. Criticise the equipment replacement period as being too environmentally damaging for too long
- B. Raise an opportunity for improvement (OI) to reduce damaging emissions
- C. Determine if the local authority has been informed that the organisation is exceeding VOC emissions
- D. Extend the audit plan to include the five shops
- E. Recommend that staff in the five shops should have medical check-ups due to air pollution
- F. Evaluate whether the process for measuring environmental performance is effective
Correct Answer: C,F 🗳️
You are responsible for the second surveillance audit of ABC, a medium-sized metal mechanical manufacturing organisation. The significant environmental aspects are loud noise, solid waste, energy consumption and liquid waste.
During the opening meeting, you are informed that when COVID-19 started, sales increased considerably, so they had to open a third shift, from 10 pm to 6 am. You interview the Production Manager.
You: How did you carry out this change and how did you evaluate the impact on ABC's EMS?
PM: It was very simple, we just did it.
You: Did you introduce any change in the EMS?
PM: No. It is the same processes, the same products, the same materials, therefore the same environmental aspects.
You: What about the people?
PM: We distributed the most experienced workers among the three shifts. They trained the newly hired personnel.
Which of the six key questions from the following list would you ask? Have you...
- A. revised the internal audit programme?
- B. developed any formal documented plan to change the EMS?
- C. reviewed the documented operational procedures?
- D. evaluated the extra amount of waste that will be generated?
- E. reviewed the emergency response plans?
- F. reviewed the environmental objectives?
- G. reviewed the infrastructure maintenance plan?
- H. reviewed the authorities and responsibilities of all roles?
- I. reviewed the needs and expectations of interested parties?
Correct Answer: A,C,D,E,F,I 🗳️
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Showitoff is an organisation specialising in the design and production of wall decorating materials for the domestic market. During an ISO 14001 certification audit of the site, the auditor comes across an open, walled area just outside the maintenance department. It contains various scraps of wood and metal as well as several rusty components. They are lying on an oily floor. When asked about it, the EMS Manager states that he presumes that the materials come from maintenance work.
The auditor interviews the Maintenance Manager in his department. He notes that shelves containing various spares are well labelled and neatly stacked. He asked about the " dump " outside and is told that it contains some excess materials that the Manager likes to keep in case they come in handy at some stage. The auditor points out that the " dump " might be classed under regulations as a landfill site, which requires an operating licence. The Maintenance Manager is not aware of such a licence.
The auditor decides to review the process for evaluation of compliance with environmental regulations in more depth.
Select three options that provide a meaningful audit trail for this process.
- A. What are the qualifications of the EMS and Maintenance Managers?
- B. How is the material content of scrap items verified?
- C. Are operators trained in the identification of legal requirements?
- D. How is the cost of unused or excess materials calculated?
- E. Is a regulatory expert employed on the internal audit programme?
- F. How is the handling of waste materials monitored?
- G. What environmental aspects have been identified as being associated with regulations?
- H. How are maintenance staff made aware of regulatory requirements?
Correct Answer: F,G,H 🗳️
The following four statements relate to planning to respond to emergencies. Each statement is divided into two parts. Match the first part to the corresponding second part of each statement:
Correct Answer:

Explanation:
Post-emergency evaluations - A
Actions required - B
Periodic testing - C
Training - D
This question relates to ISO 14001:2015 Clause 8.2 - Emergency preparedness and response , which requires an organization to establish, implement, and maintain processes needed to prepare for and respond to potential emergency situations.
The correct matching is:
Post-emergency evaluations # to implement corrective actions
After an emergency or emergency drill, the organization should review what happened, evaluate the effectiveness of the response, and take corrective action where weaknesses or failures are identified.
Actions required # to mitigate impacts
Emergency planning must define actions needed to prevent or reduce adverse environmental impacts, such as spill containment, isolation of hazardous materials, shutdown procedures, or notification of relevant parties.
Periodic testing # of emergency plans
Emergency response arrangements should be tested periodically where practicable, for example through drills, simulations, or spill-response exercises.
Training # of emergency response personnel
Personnel involved in emergency response must be trained so they understand their roles, responsibilities, communication routes, and response procedures.
The two unused options - communication processes and including contact details - may be relevant to emergency planning generally, but they do not best complete the four statements shown in this question.
Which two of the following options are an advantage of using a sampling plan for the audit?
- A. Gives confidence in the audit results
- B. Prevents conflict within the audit team
- C. Implements the audit plan efficiently
- D. Reduces the audit duration
- E. Use of the plan for consecutive audits
- F. Overrules the auditor ' s instincts
Correct Answer: A,D 🗳️
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